Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

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Mar 30, 2015

SEC Charges Lynn Tilton with Fraud

The Securities and Exchange Commission charged Lynn Tilton and her Patriarch Partners firm with fraud on Monday, claiming the Bronx-born business....More
Mar 24, 2015

SEC Chair Supports Outside Examiners For RIAs

SEC Chair Mary Jo White told a congressional committee Tuesday she supported the idea of third-party examiners for RIAs to supplement, but not....More
Mar 16, 2015

SIFMA Attacks White House Conflicted Advice Research2

The Securities Industry and Financial Markets Association on Monday blasted research produced by the White House in its recent efforts to push....More
Mar 12, 2015

FINRA Sanctions N.Y. Firm, Bans Exec

The Financial Industry Regulatory Authority issued $1.5 million in sanctions against Brookville Capital Partners on Thursday and barred the firm....More
Mar 09, 2015

The True Cost of Fraud1

When investors are hit with fraud, it’s not just their wallets that hurt, (although about 9 percent do declare bankruptcy as a result)....More
Feb 25, 2015

Republican Revives Bill to Block DOL Fiduciary Rule

Congresswoman Ann Wagner (R-Mo.) pushed back against President Barack Obama and the Department of Labor’s proposed fiduciary rulemaking,....More
Feb 04, 2015

Collaboration, Information-Sharing Key to Cybersecurity

Cybersecurity must be a collaborative effort between the industry, regulators and policymakers, the president and CEO of the SIFMA said Wednesday....More
Jan 27, 2015

Congress Could Close Tax Loopholes to Raise Money

Advisors need to keep an eye on potential tax loophole closures as the year goes forward, particularly as the government faces funding legislation....More
Jan 26, 2015

Advisors Need to Engage Washington to Change Perception of Wall Street

Advisors are going to have to play the long game if they want to change the way broker/dealers are lumped together with Wall Street....More
Dec 29, 2014

Wirehouse Advisors Gripe About, Increasingly Satisfied with Compliance

Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’....More
Dec 16, 2014

Busted: Alts Manager Taken Away in Handcuffs

Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and....More
Dec 09, 2014

SEC Examination Schedule Unlikely to Change. But Does It Need to?

Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team....More
Nov 21, 2014

Dawn Bennett: Dallas Cowboys Lawsuit 'Should Never Have Been Filed'

In a statement from her spokesperson, Dawn Bennett said the Dallas Cowboys were retracting their $7.3 million lawsuit and said it "never should have....More
Nov 10, 2014

SEC Remains Undecided on Fate of Fiduciary Standard

The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard....More
Nov 05, 2014

State Securities Caseload Down Even as Jail Time Increases

State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than....More
What's Rulebook?

Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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